Examinations Enforcement: Settlement

BHPB recognized that inviting government officials to the Olympics created a heightened risk of violating anti-corruption laws and the company’s own Guide to Business Conduct, but the ...

These proceedings arise out of materially inaccurate financial statements filed with the Commission by a former registered broker-dealer, Lighthouse. In preparing Lighthouse’s financial statements for the ...

During on-site examinations in 2005 and 2007, the Office of Compliance Inspections and Examinations cited numerous deficiencies, including TIA’s failure to complete an annual compliance ...

Both men previously pled guilty to criminal charges arising out of the same conduct. Jorgenson was sentenced to 24 months in jail and Stokke was ...

The Commission’s complaint alleged that Banner and Express Commercial acted as sales agents that offered and sold securities in a fictitious prime bank instrument trading program ...

Deutsche Bank’s illegal conduct involved nearly a decade of lying, cheating, and stealing. This criminal conduct was pervasive and widespread, involving dozens of employees from ...

The complaint alleges that, starting in 2010, Pameijer and his daughter, Sayer, began soliciting clients to invest with Rykoworks through promissory notes which purported to ...

These proceedings involve the sale of non-investment grade or “junk” bonds issued by the Commonwealth of Puerto Rico by StateTrust, a registered broker-dealer and municipal securities ...

This proceeding relates to certain inaccurate and incomplete information furnished by a registered investment adviser, Kornitzer Capital Management, Inc., and its chief financial officer and chief ...

This matter concerns investment adviser BlackRock’s failure to disclose a conflict of interest involving the outside business activity of one of its portfolio managers. BlackRock ...